AI Day1 LLC - 01 Jun 2021 Form 4 Insider Report for Day One Biopharmaceuticals, Inc. (DAWN)

Role
10%+ Owner
Signature
/s/ Alejandro Moreno for AI Day 1 LLC
Issuer symbol
DAWN
Transactions as of
01 Jun 2021
Net transactions value
+$14,000,000
Form type
4
Filing time
03 Jun 2021, 16:42:50 UTC
Previous filing
26 May 2021
Next filing
20 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction DAWN Common Stock Conversion of derivative security +8,502,776 8,502,776 01 Jun 2021 Direct F1, F2, F3
transaction DAWN Common Stock Purchase $14,000,000 +875,000 +10% $16.00 9,377,776 01 Jun 2021 Direct F3, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction DAWN Series A Redeemable Convertible Preferred Stock Conversion of derivative security $0 -7,761,380 -100% $0.000000* 0 01 Jun 2021 Common Stock 7,761,380 Direct F1, F3
transaction DAWN Series B Redeemable Convertible Preferred Stock Conversion of derivative security $0 -741,396 -100% $0.000000* 0 01 Jun 2021 Common Stock 741,396 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Series A Redeemable Convertible Preferred Stock automatically converted into one share of common stock of Day One Biopharmaceuticals, Inc. (the "Issuer") immediately prior to the completion of the Issuer's initial public offering and had no expiration date.
F2 Each share of Series B Redeemable Convertible Preferred Stock automatically converted into one share of common stock of the Issuer immediately prior to the completion of the Issuer's initial public offering and had no expiration date.
F3 The securities reported are held directly by AI Day 1 LLC and may be deemed to be beneficially owned by Access Industries Holdings LLC ("AIH"), Access Industries Management, LLC ("AIM") and Len Blavatnik because AIH indirectly controls all of the outstanding voting interests in AI Day 1 LLC, AIM controls AIH and Mr. Blavatnik controls AIM and holds a majority of the outstanding voting interests in AIH. AIH, AIM and Mr. Blavatnik each disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this form shall not be construed as an admission that any such reporting person is the beneficial owner of any of the securities reported on this form.
F4 Represents securities purchased in the Issuer's initial public offering.